Podcast: Private Fund Regulatory Update – Network and Cloud Storage
Compliance into the Weeds-Episode 39, Disclosure of Ransomware Attacks
Financial regulators including the Securities and Exchange Commission (“SEC”) continued to focus on data protection and cybersecurity issues throughout 2025....more
In 2025, the SEC rolled out key regulatory changes and enforcement actions impacting investment advisers and registered funds. We tracked these developments on the ‘40 Act Blog—here are the 10 posts that captured the most...more
On Nov. 25, the Securities and Exchange Commission (SEC) announced a settlement with a registered investment adviser (RIA) and broker-dealer (the Adviser) for violations of Regulation S-P and Regulation S-ID. Regulation...more
On May 16, 2024, the Securities and Exchange Commission (SEC) unanimously approved amendments to Regulation S-P, which imposes new rules relating to cybersecurity breaches involving investment advisers and broker-dealers....more
Last month, the U.S. Securities and Exchange Commission (SEC) Division of Examinations released its Fiscal Year 2026 “Examination Priorities.” In this year’s release, the SEC announced that it will begin examining covered...more
It’s that time again for investment advisers, broker-dealers, fund managers and other financial professionals to prepare for the U.S. Securities and Exchange Commission’s (SEC) continued focus on certain topics in...more
The SEC's 2024 amendments to Regulation S-P introduce the most comprehensive update to federal privacy and data security standards for SEC-regulated institutions since the rule was adopted. While the amendments are directed...more
On November 17, 2025, the SEC’s Division of Examinations released its examination priorities for fiscal year 2026, identifying areas the agency alleges present heightened compliance and investor protection risks under the...more
On November 17, 2025, the Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) published its examination priorities for 2026 (the “Priorities”)....more
On November 17, 2025, the Securities and Exchange Commission (“SEC”)’s Division of Examinations (the “Division”) released its 2026 examination priorities that highlight examination topics that the Division plans to focus on...more
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
The deadline for “Larger Entities” to comply with the new data privacy and security requirements in the amendments to Regulation S-P is December 3, 2025. As we have detailed previously, the U.S. Securities and Exchange...more
In May 2024, the Securities and Exchange Commission (SEC) adopted significant amendments to Regulation S-P (the “Amendments”). These Amendments expand requirements related to safeguarding customer information, incident...more
On November 17, 2025, the Securities and Exchange Commission’s (SEC) Division of Examination announced its fiscal year (FY) 2026 examination priorities. The most significant changes to the division’s priorities from FY 2025...more
The Securities and Exchange Commission’s Division of Examinations (the Division) recently released its 2026 examination priorities. In addition to continuing its longstanding focus on alternative investments, conflicts of...more
On November 17, 2025, the U.S. Securities and Exchange Commission’s Division of Examinations (Division) released its annual examination priorities for fiscal year 2026 (Exam Priorities). The Division develops its...more
On November 17, the SEC Division of Examinations (the “Division”) released its 2026 Fiscal Year Examination Priorities (the “2026 Priorities”)—the first announcement of exam priorities under Chairman Paul S. Atkins. In...more
Delayed slightly by the recent government shutdown, the Division of Examinations (the Division) of the Securities and Exchange Commission (SEC) recently published its fiscal year 2026 examination priorities (the...more
In May 2024, the Securities and Exchange Commission (the “SEC”) adopted amendments to Regulation S-P (the “Amendments”). Compliance with the Amendments is set to become mandatory on December 3, 2025 for most entities covered...more
The U.S. Securities and Exchange Commission (the “SEC”) Division of Examinations (the “Division”) released its 2026 examination priorities, giving financial institutions, including investment advisers, guidance on what to...more
Recently, Seward & Kissel held its annual Private Funds Forum, where our panelists discussed the latest trends impacting the private funds community. ...more
Welcome to IMpact: Investment Management News. In this regular bulletin, DLA Piper lawyers share their insights on key developments that are impacting the investment management industry....more
The following summarizes recent legal developments of note affecting the investment management industry: On September 30, 2025, the SEC Division of Investment Management (the “Division”) issued a no-action letter permitting...more
The U.S. Securities and Exchange Commission's (SEC's) May 2024 amendments to Regulation S-P established concrete, near-term compliance deadlines for registered investment advisers (RIAs) to adopt, implement, and maintain...more
On May 16, 2024, the Securities and Exchange Commission (“SEC”) adopted amendments (the “Amendments”) to modernize Regulation S-P (“Reg S-P”). The Amendments include substantially expanded requirements for safeguarding...more